2012-11-14T16:05:58-06:00 2011-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2011-01-01 530183246 ASSOCIATION OF PUBLIC AND LAND-GRANT UNIVERSITIES ASSO 2024786040 1307 NEW YORK AVENUE NW NO 400 WASHINGTON DC 200054722 EMILY VAN LOON 2024786040 2012-11-14 1 FREDERICK LONGWOOD P00439715 2022932200 2011 2016-02-24 21:20:13Z APLU PETER MCHPHERSON 1307 NEW YORK AVENUE NW NO 400 WASHINGTON DC 200054722 14516599 0 X WWW.APLU.ORG X 1887 DC A.P.L.U.'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 26 26 60 0 0 0 1770906 2188732 11795483 12241968 57473 79095 85178 6804 13709040 14516599 2410850 2737000 0 0 5799746 6442878 0 0 0 5062499 5433575 13273095 14613453 435945 -96854 13830535 14693777 4148318 4973121 9682217 9720656 X A.P.L.U. IS DEDICATED TO ADVANCING RESEARCH, LEARNING AND ENGAGEMENT. THE ASSOCIATION'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION AND ITS MEMBER INSTITUTIONS AS THEY PERFORM THEIR TEACHING, RESEARCH, AND PUBLIC SERVICE ROLES. A.P.L.U. PROVIDES A FORUM FOR THE DISCUSSION AND DEVELOPMENT OF POLICIES AFFECTING HIGHER EDUCATION AND THE PUBLIC INTEREST. 0 0 5515425 2685275 5239247 THE COMMISSION ON FOOD, ENVIRONMENT, AND RENEWABLE RESOURCES (CFERR) FOCUSES ON CROSS-CUTTING ISSUES RELATED TO AGRICULTURE, FORESTRY, HUMAN SCIENCES, NATURAL RESOURCES, ECOLOGICAL SCIENCES, OCEANS AND ATMOSPHERE, AND VETERINARY MEDICINE IN THE FUNCTIONAL AREAS OF RESEARCH, EXTENSION, AND ACADEMIC PROGRAMS. THE COMMISSION SEEKS TO FORMULATE AND IMPLEMENT AN INTEGRATED FEDERAL RELATIONS PROGRAM AND FORMULATE CONGRESSIONAL BUDGET RECOMMENDATIONS IN HIGH-PRIORITY AREAS OF NATIONAL CONCERN. 1338382 614089 THE OFFICE OF RESEARCH & SCIENCE POLICY'S MAJOR INITIATIVE IS THE SCIENCE AND MATHEMATICS TEACHER IMPERATIVE (SMTI), A LONG-TERM EFFORT TO ADDRESS THE SHORTAGE OF WELL QUALIFIED SCIENCE AND MATH TEACHERS. WHILE MANY INSTITUTIONS CAN AND SHOULD HELP ADDRESS THIS CRITICAL NATIONAL NEED, IT IS PARTICULARLY IMPORTANT FOR APLU-MEMBER INSTITUTIONS, WITH THEIR HEAVY ENGAGEMENT IN RESEARCH AND EDUCATION IN STEM DISCIPLINES, TO ACCEPT LEADERSHIP TO PRODUCE MORE AND BETTER MATH AND SCIENCE TEACHERS. 1177052 853964 THE OFFICE OF ACADEMIC AFFAIRS' MAJOR INTITIATIVE IS THE VOLUNTARY SYSTEM OF ACCOUNTABILITY (VSA). THIS PROJECT HAS LED TO THE DEVELOPMENT OF COLLEGE PORTRAIT, A TOOL WHICH PROVIDES CONSISTENT, COMPARABLE AND TRANSPARENT INFORMATION ON THE CHARACTERISTICS OF INSTITUTIONS AND STUDENTS, COST OF ATTENDANCE, STUDENT ENGAGEMENT WITH THE LEARNING PROCESS, AND CORE EDUCATIONAL OUTCOMES. THE INFORMATION IS INTENDED FOR STUDENTS, FAMILIES, POLICYMAKERS, CAMPUS FACULTY AND STAFF, THE GENERAL PUBLIC, AND OTHER HIGHER EDUCATION STAKEHOLDERS. 4797582 51725 1264674 INTERNATIONAL PROGRAMS, CONGRESSIONAL & GOVERNMENTAL AFFAIRS, PUBLIC AFFAIRS, AND ACCESS AND ADVANCEMENT OF MINORITY & BLACK UNIVERSITIES. 4797582 51725 1264674 12828441 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 65 0 1 60 1 0 0 0 0 0 0 0 0 0 0 0 X 26 26 0 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X THE ASSOCIATION 2024786040 1307 NEW YORK AVENUE NW STE 400 WASHINGTON DC 20005 DR ANN WEAVER HART 1.00 X 0 0 0 DR BERNADETTE GRAY LITTLE 1.00 X 0 0 0 DR BRADY DEATON 1.00 X 0 0 0 DR CAROL Z GARRISON 1.00 X 0 0 0 DR CAROLYN MAHONEY 1.00 X 0 0 0 DR CHARLES R BANTZ 1.00 X 0 0 0 DR CRAIG D WEIDEMANN 1.00 X 0 0 0 DR DANIEL M FOGEL 1.00 X 0 0 0 DR DEBRA G ROBINSON 1.00 X 0 0 0 DR DIANA NATALICIO 1.00 X 0 0 0 DR ELSON S FLOYD 1.00 X 0 0 0 DR GP BUD PETERSON 1.00 X 0 0 0 DR GENE D BLOCK 1.00 X 0 0 0 DR GEORGE COOPER 1.00 X 0 0 0 DR GREGORY L GEOFFROY 1.00 X 0 0 0 DR J BERNARD MACHEN 1.00 X 0 0 0 DR J SCOTT ANGLE 1.00 X 0 0 0 DR JACK M WILSON 1.00 X 0 0 0 JAN R MARTIN 1.00 X 0 0 0 DR JIM CLEMENTS 1.00 X 0 0 0 DR JOHN DUNN 1.00 X 0 0 0 DR JUDY L GENSHAFT 1.00 X 0 0 0 DR LEE T TODD JR 1.00 X 0 0 0 DR MRC GREENWOOD 1.00 X 0 0 0 DR MARY E SIAS 1.00 X 0 0 0 DR MICHAEL A MCROBBIE 1.00 X 0 0 0 DR MICHAEL V DRAKE 1.00 X 0 0 0 DR NANCY A MARLIN 1.00 X 0 0 0 DR PHILLIP DISTEFANO 1.00 X 0 0 0 DR PREM S PAUL 1.00 X 0 0 0 DR RANDA S SAFADY 1.00 X 0 0 0 DR ROBERT H BRUININKS 1.00 X 0 0 0 DR SALLY MASON 1.00 X 0 0 0 NATALIE KRAWITZ 1.00 X 0 0 0 VIJI MURALI 1.00 X 0 0 0 ROBERTS B KNOTTS 1.00 X 0 0 0 M PETER MCPHERSON 37.50 X 493164 0 58792 JEAN MIDDLETON 37.50 X 114202 0 20743 ELLEN GARDENER 37.50 X 66193 0 654 EMILY VAN LOON 37.50 X 23503 0 4926 STEVEN CRABTREE 37.50 X 58489 0 5753 IAN MAW 37.50 X 261458 0 24500 MICHAEL TANNER 37.50 X 328201 0 25479 JENNIFER POULAKIDAS 37.50 X 162630 0 21808 HOWARD GOBSTEIN 37.50 X 189260 0 32655 JAMES TURNER 37.50 X 180920 0 17300 JANE SCHUCHARDT 37.50 X 165834 0 16400 CHRISTINE KELLER 37.50 X 142711 0 20267 MALCOLM BUTLER 37.50 X 138558 0 12749 LORENZO ESTERS 37.50 X 134273 0 24568 2459396 0 286594 15 0 1 0 CORNERSTONE GOVERNMENT AFFAIRS LLC 300 INDEPENDENCE AVE SE WASHINGTON DC 20003 CONSULTING 766860 NATIONAL STRATEGIES LLC 1400 EYE STREET NW WASHINGTON DC 20005 CONSULTING 120000 DAVID HANSEN 6932 BETSEY PLACE WORTHINGTON OH 43085 CONSULTING 110000 THE THIRD MILE GROUP LLC 1276 SOUTH FILLMORE STREET DENVER CO 80210 CONSULTING 105432 THE LIVINGSTON GROUP LLC 14231 WILLARD ROAD - SUITE 100 CHANTILLY VA 20151 CONSULTING 102036 5 956875 1231857 2188732 MEMBERSHIP DUES 900099 11089976 11089976 MEETINGS & SEMINARS 900099 1151992 1151992 12241968 79095 79095 588 0 588 588 MISCELLANEOUS 900099 6216 6216 6216 14516599 12242556 0 85311 2685275 2685275 51725 51725 1920875 1513441 407434 3601133 2841049 760084 305616 238381 67235 297407 231977 65430 317847 257456 60391 1835669 1835669 28998 28998 43700 43700 118814 118814 519865 463343 56522 168255 46312 121943 167710 167710 597926 569134 28792 1311311 1311311 152598 152598 52207 11858 40349 BAD DEBT EXPENSE 197002 101552 95450 DUES AND CONTRIBUTIONS 73651 62151 11500 BANK FEES & CREDIT CARD 66977 44218 22759 EQUIPMENT RENTAL & MAIN 62209 62209 36683 444775 -408092 14613453 12828441 1785012 0 489327 57894 106636 86996 348049 437661 185763 458360 82320 167904 5498990 1954122 3620357 3544868 8904518 9833243 93565 106851 13830535 14693777 531846 739239 1074531 468750 165673 2963100 2793567 184622 200111 4148318 4973121 X 8118904 8150757 63313 69899 1500000 1500000 9682217 9720656 13830535 14693777 X -96854 135293 X X 0 1 1 X 1 1 X 12166400 11862739 11939703 12530232 13278708 61777782 12166400 11862739 11939703 12530232 13278708 61777782 345957 61431825 366044 191079 -4219 57473 79095 689472 95872 43719 4743 84362 6216 234912 62702166 5544715 0.97970 0.97290 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 11231 360265 371496 14984949 15356445 917822 229456 0 0 835400 797187 813655 917822 3364064 5046096 645797 374895 365954 371496 1758142 208850 199297 203414 229456 841017 1261526 10561 7666 11011 11231 40469 1563313 50829 44243 1569899 1531430 29208 2675 1563313 1519581 11849 1531430 1520429 1488 2336 1519581 0.00000 0.95550 0.04450 0 0 1331256 1331256 3115486 1041843 2073643 190227 182648 7579 862021 729631 132390 3544868 INVESTMENTS- SECURITIES 9833243 F 9833243 OTHER LIABILITIES 96186 INTEREST RATE SWAP OBLIGATION 103925 200111 14516599 14613453 -96854 136697 -1404 135293 38439 14651892 136697 136697 14515195 1404 1404 14516599 14613453 0 14613453 0 14613453 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE ASSOCIATION'S ENDOWMENT CONSISTS OF FUNDS GRANTED BY THE W.K. KELLOGG ASSOCIATION FOR RECOGNIZING AND REWARDING PUBLIC UNIVERSITY FACULTY AND EXTERNAL PARTNERS FOR OUTSTANDING PARTNERSHIPS THAT EMBRACE PUBLIC UNIVERSITY ENGAGEMENT WITH THEIR CONSTITUENTS. THE ENDOWMENT IS DONOR-RESTRICTED TO BE HELD IN PERPETUITY TO GENERATE RETURNS TO PROVIDE FOR TWO ANNUAL SETS OF AWARDS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE ASSOCIATION BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN, AND THEREFORE, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. AT A MINIMUM, THE DECEMBER 31, 2008 THROUGH 2011 TAX YEARS ARE OPEN FOR EXAMINATION BY TAXING AUTHORITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN VALUE OF INTEREST RATE SWAP -1,404. PART XII, LINE 4B - OTHER ADJUSTMENTS: CHANGE IN VALUE OF INTEREST RATE SWAP 1,404. 0 UNIVERSITY OF NEBRASKA 1400 R STREET LINCOLN NE 68588 470049123 501(C)(3) 2400000 EXTENSION PROJECT SOUTH DAKOTA STATE UNIVERSITY ADMINISTRATION 200 BROOKINGS SD 57007 466000364 501(C)(3) 35000 EXTENSION PROJECT NORTH CAROLINA STATE UNIVERSITY 2200 HILLSBOROUGH RALEIGH NC 276957214 566000756 501(C)(3) 34000 EXTENSION PROJECT AMERICAN ASSOCIATION OF STATE COLLEGES AND UNIVERSITIES 1307 NEW YORK AVENUE WASHINGTON DC 20005 520747578 501(C)(3) 15000 EXTENSION PROJECT TEXAS AGRILIFE EXTENSION SERVICE 600 JOHN KIMBROUGH BOULEVARD SUITE 509 COLLEGE STATION TX 77843 746000537 501(C)(5) 46000 EXTENSION PROJECT AMERICAN ASSOCIATION OF COMMUNITY COLLEGES ONE DUPONT CIRCLE NW 140 WASHINGTON DC 20036 530196569 501(C)(3) 26422 PROGRAM SUPPORT MONTANA STATE UNIVERSITY 203 CULBERSTON BOZEMAN MT 59717 816010045 115 20000 PROGRAM SUPPORT UNIVERSITY OF GEORGIA FANNING INSTITUTE 1240 S LUMPKIN STREET ATHENS GA 30602 586001998 115 108853 PROGRAM SUPPORT 8 TEACHING AWARDS 10 24000 SCHOLARSHIPS 3 225 GRANT/CONTRACT PERSONNEL 1 12500 EXTENSION AWARD 6 10000 DIVERSITY AWARD 2 5000 X 1 0 X X X X X 0 0 0 0 0 0 0 0 0 M PETER MCPHERSON 421173 0 0 0 71991 0 41500 0 20217 0 554881 0 0 0 IAN MAW 254042 0 0 0 7416 0 24500 0 3260 0 289218 0 0 0 MICHAEL TANNER 317629 0 6000 0 4572 0 24500 0 4743 0 357444 0 0 0 JENNIFER POULAKIDAS 160144 0 2000 0 486 0 16300 0 12241 0 191171 0 0 0 HOWARD GOBSTEIN 171826 0 16000 0 1434 0 17719 0 19577 0 226556 0 0 0 JAMES TURNER 174001 0 2500 0 4419 0 17300 0 2709 0 200929 0 0 0 JANE SCHUCHARDT 161400 0 3000 0 1434 0 16400 0 6425 0 188659 0 0 0 CHRISTINE KELLER 139290 0 3000 0 421 0 14183 0 9300 0 166194 0 0 0 MALCOLM BUTLER 135243 0 0 0 3315 0 12749 0 5086 0 156393 0 0 0 LORENZO ESTERS 129035 0 5000 0 238 0 13500 0 20837 0 168610 0 0 0 PART I, LINE 1B REIMBURSEMENT AND PROVISION OF THE EXPENSES LISTED IN SCHEDULE J, PART 1, LINE 1A IS DETERMINED BY THE BOARD OF DIRECTORS' COMPENSATION COMMITTEE AS A PART OF THEIR DELIBERATIONS ON AN OVERALL PACKAGE FOR THE ASSOCIATION'S PRESIDENT. AS SUCH, NO FORMAL POLICY EXISTS THAT MANDATES WHICH, IF ANY, OF THESE EXPENSES ARE REQUIRED TO BE INCLUDED. THE COMMITTEE DOES CONSIDER THE COMPENSATION PACKAGES PROVIDED TO THE OTHER ASSOCIATIONS THAT COMPRISE THE "SIX," A GROUPING OF THE SIX MOST SIGNIFICANT ASSOCIATIONS FOR HIGHER EDUCATION OF WHICH APLU IS ONE. FORM 990, PART VI, SECTION A, LINE 6 THE ASSOCIATION SHALL HAVE ONE CLASS OF MEMBERS, UNLESS OTHERWISE DETERMINED BY THE BOARD. MEMBERS SHALL NOT HAVE THE RIGHT TO VOTE, EXCEPT AS PART OF THEIR MEMBERSHIP ON ASSOCIATION BOARDS, COMMISSIONS, COMMITTEES AND COUNCILS DESCRIBED BELOW. ALL MEMBERS OF THE ASSOCIATION SHALL CONSIST OF INSTITUTIONS OF HIGHER EDUCATION, EACH OF WHICH QUALIFIES UNDER SECTION 115(A) OF THE INTERNAL REVENUE CODE OF 1986, OR IS EXEMPT FROM FEDERAL INCOME TAXATION UNDER SECTION 501(A) OF SUCH CODES AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3) OF SUCH CODE, AND IS AN ORGANIZATION DESCRIBED IN SECTION 509(A)(1), (2), OR (3) OF SUCH CODES (OR THE CORRESPONDING PROVISIONS OF ANY FUTURE UNITED STATES INTERNAL REVENUE LAW), AND WHICH MEET THE FOLLOWING ADDITIONAL CRITERIA: 1. AUTOMATIC MEMBERSHIP PUBLIC UNIVERSITIES OR COLLEGES THAT MEET AT LEAST ONE OF THE FOLLOWING THREE CRITERIA ARE QUALIFIED FOR A.P.L.U. MEMBERSHIP WITHOUT FORMAL ACTION BY THE BOARD OF DIRECTORS (A) INSTITUTION IS A LAND GRANT INSTITUTION (1862, 1890, 1994) (B) INSTITUTION IS CLASSIFIED IN ONE OF TWO BASIC CLASSIFICATION CATEGORIES FROM THE 2005 CARNEGIE CLASSIFICATION OF INSTRUCTIONAL PROGRAMS (SOURCE: 2005 CARNEGIE EDITION). RESEARCH (VERY HIGH) RESEARCH (HIGH) (C) INSTITUTION IS A CURRENT A.P.L.U. MEMBER IN GOOD STANDING. 2. PRESUMPTIVE MEMBERSHIP INSTITUTIONS THAT DO NOT MEET THE CRITERIA ABOVE MAY QUALIFY FOR MEMBERSHIP BY MEETING THE RESEARCH CRITERIA BELOW (A) AND TWO OF THE THREE ADDITIONAL CRITERIA (B, C, OR D). INSTITUTIONS WILL THEN BE CONSIDERED FOR MEMBERSHIP BY THE A.P.L.U. BOARD OF DIRECTORS AND MUST BE APPROVED BY THE BOARD. FORM 990, PART VI, SECTION B, LINE 11 BOTH THE FORM 990 AND AUDITED FINANCIAL STATEMENTS ARE DISTRIBUTED ELECTRONICALLY TO THE APLU AUDIT COMMITTEE MEMBERSHIP FOR REVIEW AND APPROVAL. DURING THE DISTRIBUTION PROCESS, THE BOARD OF DIRECTORS ARE COPIED ON THE CORRESPONDENCE. AS REQUIRED, CONFERENCE CALLS ARE MADE WITH THE AUDIT COMMITTEE TO DISCUSS ANY QUESTIONS ON THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE CHIEF FINANCIAL OFFICER IS THE PRIMARY OFFICER RESPONSIBLE FOR MONITORING FOR POTENTIAL CONFLICT OF INTEREST TRANSACTIONS. MONITORING INCLUDES RELIANCE ON APLU EMPLOYEES FOR REPORTING MATTERS OF CONCERN. ALL APLU STAFF, REGARDLESS OF POSITION, ARE COVERED UNDER THE POLICY. IN THE CASE OF THE PRESIDENT, IF SATISFACTORY CONCLUSION CANNOT BE REACHED BY THE CFO, THEN THE CFO IS EMPOWERED TO REFER THE MATTER TO THE CHAIR OF THE BOARD OF DIRECTORS. IN ALL OTHER CASES, THE PRESIDENT IS THE ULTIMATE AUTHORITY FOR DETERMINING DISCIPLINARY AND CORRECTIVE ACTIONS FOR CONFLICT OF INTERESTS NOT RESOLVED BY THE CFO. TO DATE, APLU HAS NOT HAD A CONFLICT OF INTEREST TRANSACTION. FORM 990, PART VI, SECTION B, LINE 15A THE APLU BOARD OF DIRECTORS SETS THE CEO COMPENSATION DURING ITS NOVEMBER MEETING. PRIOR TO THE MEETING, COMPARABILITY DATA IS PROVIDED TO THEM BY THE APLU CHIEF FINANCIAL OFFICER. THE COMPARABILITY DATA IS AT THE DETAIL LEVEL AND ENCOMPASSES THE COMPENSATION PROVIDED TO THE CEOS OF THE SIX LEADING ASSOCIATIONS FOR HIGHER EDUCATION. ALSO MADE AVAILABLE ARE THE RESULTS FROM VARIOUS SURVEYS ON CEO SALARIES SUCH AS WASHINGTON AREA EXECUTIVE SECRETARIAT AND THE HUMAN RESOURCE ASSOCIATION OF THE NATIONAL CAPITAL AREA'S ANNUAL "COMPENSATION SURVEY REPORT." FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 136,697. CHANGE IN VALUE OF INTEREST RATE SWAP -1,404. TOTAL TO FORM 990, PART XI, LINE 5: 135,293. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PREVIOUS YEAR.